SEC Form 4 · accession 0000891839-16-000203
GRAHAM CORP · GHM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jennifer R Condame
Officer — CAO and Controller
Period of report
May 17, 2016
Accepted (ET)
May 19, 2016 · 5:28 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000716314
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 17, 2016 | M | 500 | $7.976 | A | 13,332 | D | |
| Common StockF2 | holding | — | — | — | 2,506 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $7.976 | May 17, 2016 | M | 500 | D | Jun 1, 2010 | Jun 1, 2016 | Common Stock | 500 | 0 | D |
| Stock Option (Right to Buy)F3 | $6.90 | holding | — | — | — | May 31, 2011 | May 31, 2017 | Common Stock | 4,974 | 4,974 | D |
| Stock Option (Right to Buy)F3 | $30.875 | holding | — | — | — | May 29, 2012 | May 29, 2018 | Common Stock | 576 | 576 | D |
| Stock Option (Right to Buy)F3 | $44.50 | holding | — | — | — | Jul 31, 2012 | Jul 31, 2018 | Common Stock | 1,000 | 1,000 | D |
| Stock Option (Right to Buy)F3 | $15.22 | holding | — | — | — | May 28, 2012 | May 28, 2019 | Common Stock | 2,678 | 2,678 | D |
| Stock Option (Right to Buy)F3 | $15.25 | holding | — | — | — | May 20, 2013 | May 20, 2020 | Common Stock | 1,609 | 1,609 | D |
| Stock Option (Right to Buy)F3 | $18.65 | holding | — | — | — | May 30, 2015 | May 30, 2022 | Common Stock | 3,127 | 3,127 | D |
Explanation of responses
- F1Includes 383 shares acquired under the Graham Corporation Employee Stock Purchase Plan.
- F2Shares held by the trustee of the Graham Corporation Employee Stock Ownership Plan and allocated to Ms. Condame's account, as to which Ms. Condame has sole voting power but no dispositive power, except in limited circumstances.
- F3This option was previously reported by Ms. Condame.